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Civil Servants' Guide to Good Practices
Transcript of Civil Servants' Guide to Good Practices
CONTENTS
Foreword
1. Core Values of the Civil Service
2. Attendance and Diligence at Work
3. Supervisory Responsibilities
4. Probity
5. Acceptance of Advantages and Entertainment
6. Conflict of Interest
7. Declaration of Investments
8. Outside Work and Post-Service Employment
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10. Misconduct in Public Office
11. Sources of Advice and Information
Annex I - Answers to Some Common Questions
asked on Acceptance of Advantages
and Entertainment
Annex II - Answers to Some Common Questions
asked on Misconduct in Public Office
. Upholding the Integrity of the Civil Service
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5
7
9
11
13
15
17
19
21
23
25
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FFOREWORD
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Joseph W P Wong
Secretary for the Civil Service
Dear Colleagues,
We are privileged to have in Hong Kong a civil service that is
acclaimed for its efficiency and honesty.
The way our civil service conducts itself is guided by a set of core
values that have endured the test of time. These core values have
shaped the culture and character of the civil service as we know it today,
namely, a clean, professional and meritocratic body of public servants.
The qualities of our civil service have taken many years to build
and to sustain. Both the Administration and the community recognise
that the preservation of these qualities is an essential pillar for effective
governance.
The publication of this "Guide to Good Practices" underlines our
commitment to uphold the fine culture and character of our civil service.
In simple language, it sets out the good behaviour expected of civil
servants at all levels, including those appointed on non-civil service
terms.
I hope colleagues will find this a handy guide to the core values
and good practices that all civil servants are expected to share and
uphold.
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The Hong Kong Civil Service is part of the Government of the Hong
Kong Special Administrative Region. The Chief Executive leads the
HKSAR Government. Civil servants are required by the Basic Law to be
dedicated to their duties and to be responsible to the HKSAR
Government.
Certain values have endured the test of good governance and shaped
the present culture of our civil service. These can be summed up in six
key principles:
(a) commitment to the rule of law;
(b) honesty and integrity;
(c) accountability for decisions and actions;
(d) political neutrality;
(e) impartiality in the execution of public functions; and
(f) dedication, professionalism and diligence in serving the community.
The above core values express the important characteristics of the way
we work. They provide the basis for the standards of conduct expected
of civil servants.
C1. Core Values of the Civil Service
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All civil servants should:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
A2. Attendance and Diligence at Work
comply strictly with applicable laws;
carry out lawful instructions from supervisors and comply with
government regulations and procedures;
work with colleagues in cooperative team spirit to deliver effective
and efficient service;
attend to work punctually;
work with care and diligence, and strive for excellence;
strive to achieve set performance targets; and
be courteous at all times.
As supervisors, we should:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
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S3. Supervisory Responsibilities
delineate and communicate clearly and properly the lines of
responsibilities of our staff;
provide adequate guidance, advice, counselling and training for
staff;
monitor the conduct and performance of staff to ensure that they
meet the standards required;
be alert to signs of malpractice in the work place, such as heavy
gambling or frequent cash transactions among staff members and
staff indebtedness;
take prompt and decisive action to handle misconduct and poor
performance;
not ask for or accept any personal favours from subordinates or ask
subordinates to perform personal errands; and
not borrow money from subordinates or use subordinates as
guarantors for loans.
We need to maintain high standards of probity and should:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
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P4. Probity
be honest and impartial in all dealings, whether with members of
the public or other civil servants;
discharge official duties in an accountable and fair manner;
restrict access to information on an official need basis;
not use official information for private purposes;
take good care of government properties;
exercise economy in the use of government materials or services;
report any act of dishonesty, corruption, or attempted corruption
(including the offer of a bribe), or other crime that comes to our
knowledge;
avoid getting into a position where debts may become
unmanageable; and
avoid committing acts which may be construed as acts of
discrimination or sexual harassment.
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A5. Acceptance of Advantages and Entertainment
do not solicit or accept any advantage in circumstances where to do
so may be a criminal offence under section 3 or 4 of the Prevention
of Bribery Ordinance;
do not accept gifts, discounts, loans of money or passages from
contacts with whom you have official dealings. Subject to this, you
may accept:
gifts, discounts, loans of money or passages from tradesmen,
companies or other organisations which are equally available on
equal terms to non-civil servants;
gifts, discounts, loans of money or passages from a relation;
gifts and/or passages not exceeding in total $2,000 from a close
personal friend or $1,000 from any other person on each occasion
when gifts are traditionally given or exchanged, and not
exceeding $400 in total from a close personal friend on each other
occasion; and
loans of money from a close personal friend or any other person
not exceeding $2,000 and $1,000 respectively, provided it is repaid
within 14 days.
refuse any lavish or unreasonably generous or frequent
entertainment that may lead to embarrassment in performing
official duties or bring the public service into disrepute.
We must comply strictly with the rules on acceptance of advantages
and entertainment. The following summarises the key principles:
Annex I sets out answers to some common questions on acceptance of
advantages and entertainment.
(a)
(b)
(c)
A fundamental rule for maintaining civil servants' integrity is to avoid
situations which may give rise to a conflict of interest. The following
guidelines are relevant:
(a)
(b)
(c)
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C6. Conflict of Interest
never use your position in the civil service to benefit yourself or
your family, relations or friends, or any other group of people with
whom you have personal or social ties;
avoid being placed in a position of obligation to anyone by
accepting excessive entertainment or favours such as free service, or
indulging in games of chance with subordinates or other people
with whom you have official dealings; and
avoid putting yourself in a position that may arouse any suspicion
of dishonesty, or of using your official position to benefit yourself,
your family, relations or friends. For example, do not provide
advice to any executive search firm if your official duties involve
appointment and promotion. In procuring services or goods for
your office, do not negotiate with a company in which you or your
relations hold shares. Follow prescribed tender procedures and
declare an interest if necessary in the process.
As a measure to uphold civil servants' impartiality and accountability,
civil servants are required to declare their investments in and outside
Hong Kong when they are posted to designated posts, and to avoid
making investments which may give rise to real or apparent conflict of
interest with their official duties. The following rules are useful:
(a)
(b)
(c)
(d)
(e)
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D7. Declaration of Investments
do not invest or become involved in any business in or outside
Hong Kong with your official contacts;
do not invest or get involved in any business which may bring the
civil service into disrepute;
do not use information obtained in your official capacity to profit
yourself, your family, friends or associates financially;
follow prevailing regulations and departmental instructions on the
declaration of your personal investments; and
declare and seek guidance from your supervisor if you are asked to
work in a post or area where a conflict of interest situation may arise
between your personal investments and official duties.
Government has a prior call at all times on the service of all its
employees. You should:
(a)
(b)
To maintain the standing and integrity of the civil service, it is
important that civil servants, even after they have left the service,
should continue to conduct themselves in an appropriate manner as the
activities which they take up would continue to be seen by the public as
a reflection of the culture and character of the civil service. Retired civil
servants should act with good sense and propriety in pursuing post-
service employment or business and avoid engaging themselves in
activities which could be construed as being in conflict with their
previous duties in the Government, or might bring the civil service into
disrepute, or expose them or the Government to public controversy.
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O8. Outside Work and Post-Service Employment
avoid outside work, whether paid or unpaid, which may affect the
performance of your official duties or lead to a conflict of interest;
and
apply for permission before taking up any paid outside work
during or outside working hours, or unpaid work during working
hours.
The Government takes a serious view in upholding the integrity and
high standards of conduct of the civil service. Misconduct will be
addressed by disciplinary action.
Punishment in the form of a warning, reprimand, demotion, financial
penalty, compulsory retirement or dismissal may be imposed having
regard to the severity of the misconduct.
Non-civil service contract staff, by virtue of their terms of employment,
are subject to the same Government rules and regulations on conduct
and related matters as applied to civil servants. They are expected to
uphold the same high standards of probity.
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U9. Upholding the Integrity of the Civil Service
Persons occupying public offices are entrusted by the public with
powers and discretions which affect the lives and activities of the citizen.
Our society expects public officials in such a position to exercise the
powers with integrity and fidelity, and in an incorrupt manner.
The common law has long recognised this expectation. Corrupt
conduct contrary to the ethical standards that society expects a public
official to apply when discharging his official duties may not merely be
dealt with as a disciplinary matter. It may be criminally actionable.
The common law offence of misconduct in public office extends the
reach of criminal law beyond bribery into corrupt conduct that does not
involve the acceptance of an advantage offered by another person.
In a judgment handed down in 2002, the Court of Final Appeal
described the following as the elements constituting the offence of
misconduct in public office:
(a) a public official;
(b) in the course of or in relation to the public office;
(c) wilfully and intentionally;
(d) culpably misconducts himself and the misconduct is serious.
As holders of public office, we must always remember the privileged
position that we are in. Such a position brings with it the responsibility
to exercise our official powers with due care and for the public good.
Annex II sets out answers to some common questions on misconduct
in public office.
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M10. Misconduct in Public Office
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S11. Sources of Advice and Information
Departmental Secretaries are the first point of contact for advice on
issues relating to conduct and discipline. In addition, colleagues in the
Civil Service Bureau stand ready to offer information. Please feel free
to contact us at or write to us at :
Fax:
E-mail:
2810 3178
Civil Service Bureau (Attn : Conduct and Discipline Division)
11/F, Central Government Offices (West Wing)
11 Ice House Street
Central
Hong Kong
2530 0986
Resource Centre on Civil Service Integrity Management (RCIM)
Should you wish to read up reference materials on matters related to
integrity management, please visit the RCIM (http://host1.ccgo.hksarg/rcim/)
on the Central Cyber Government Office intranet.
Answers to Some Common Questions asked onAcceptance of Advantages and Entertainment
Discount and Special Offer
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AAnnex I
Can an officer accept from a bank a privileged current account
which provides unsecured overdraft facilities?
Can an officer ask his friend to purchase goods (e.g. electrical
appliances) for him from his friend's company at staff price?
By virtue of the Acceptance of Advantages (Chief Executive
Permission) Notice ( AN , an officer is permitted to accept
such an advantage provided that this credit device is equally
available on equal terms to customers who are not civil servants
and further provided that there is no official dealing between the
bank and the officer.
Such assistance amounts to a favour, and thus would constitute an
advantage under the Prevention of Bribery Ordinance (the POBO ).
However under the AAN, general permission has been given, for
the purposes of section 3 of the POBO, for officers to solicit or
accept a favour provided that there is no official dealing between
the officer and his friend. That said, the officer should make sure
that he will not be obliged to abuse his official power and position
in return. Otherwise, it may lead to a section 4 offence.
the
's
"A ")
" "
Q1
A1
Q2
A2
Can an officer accept a special discount from a shop because he or
his friend is its regular customer?
Yes, if it is a normal trade practice of the shop to do so and provided
that there is no official dealing between the officer and his friend or
the shop.
Can an officer accept a waiver of solicitor's fees for handling a
mortgage or assignment during the purchase of a property?
It will be alright if the solicitor's firm has no official dealing with
him and provided that the waiver that is offered to him in his
private capacity is equally available on equal terms to persons who
are not civil servants. The waiver is a service or favour and thus
would constitute an advantage under the Prevention of Bribery
Ordinance. However under the AAN, general permission has been
given, for the purposes of section 3 of the POBO, for officers to
solicit or accept services and favours. The officer should
nevertheless declare to his Head of Department if official dealings
with the solicitor's firm arise in future.
Q3
A3
Q4
A4
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Customary Gifts
Can an officer accept red packets during Chinese New Year? What
if the red packet is offered to his children by an official contact?
The red packet is a gift of money and therefore an advantage.
Under section 4 of the Prevention of Bribery Ordinance, an officer
who accepts a red packet as an inducement to or as a reward for or
on account of his abusing his position is in breach of the law. This
would include accepting the red packet from a person whom the
officer knew had an interest in ensuring that he, the officer,
remained favourably disposed to the offeror of the red packet
because of the possibility that the offeror might have future
dealings with the officer or his department.
Even if the red packet is offered unconditionally, it is a "restricted
advantage" for the purpose of the AAN. As such, the provisions in
the AAN should be followed. For example, except for relations, the
offeror must not have any official dealings with the officer
concerned and must not be his subordinate. Otherwise, the officer
has to seek special permission from his Head of Department before
he can accept the red packet.
If the red packet to an officer children is a bribe in disguise, it is
immaterial whether the advantage is offered to him or through a
third party related to him. However, if the red packet offered to his
children does not carry with it any ulterior motive, section 4 will
not apply. The amount involved may shed light on whether the red
packet offered stems from genuine goodwill during festive time.
When in doubt, the officer should consult his supervisor.
's
Q5
A5
Q6
A6
Q7
A7
Why special permission required for accepting gifts from
subordinates?
Civil servants have been given general permission to accept gifts,
discounts, loans of money or passages from a relation. Who will
be included as a "relation"?
is
The overriding principle is to avoid possible conflict of interest in
any supervisor/subordinate relationship and to prevent
exploitation of subordinates.
A supervisor should at all times ensure that his dealings with
subordinates do not place him in a position of obligation that may
lead to a conflict of interest. For example, he should not accept
excessive entertainment from or indulge in games of chance for
money or money's worth with subordinates. A supervisor is
required to apply for approval to accept gifts and loans of money
from subordinates. Under CSR 483, a supervisor may be liable to
disciplinary action if he does not obtain prior permission to use a
subordinate as a guarantor for a loan or a hire and purchase
agreement.
The term "relation" is defined in paragraph 3 of the Acceptance of
Advantages (Chief Executive's Permission) Notice.
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Gifts Presented to an Officer in His Official Capacity
Lucky Draw and the Prizes Won
What is the rationale for requiring officers to report gifts
presented to them in their official capacity?
Gifts presented to officers in their official capacity are gifts to the
department. All such gifts should be declined as far as possible.
When it is considered inappropriate to decline or return the gifts to
the donor, the officer should report and hand over the gifts
received to the department for disposal in accordance with the
relevant CSB Circular. Only under very restricted circumstances
would permission be given for such gifts to be retained personally
by the officers.
What should an officer do if he wins a prize in a lucky draw when
he is attending a function in his official capacity?
If the lucky draw comes with the function the officer is officially
attending, and none of his own money is involved, he may consider
not taking part in the lucky draw or returning the prize for re-draw.
If this may make him look impolite, he should take the prize back to
his department for a decision by the Head of Department on how it
should be disposed of in accordance with the relevant CSB Circular.
Q8
A8
Q9
A9
Sponsored Visits
Q10
A10
Q11
A11
When attending a function in his official capacity, an officer is
invited to buy some raffle tickets and wins a prize in the draw. Is
he required to seek any permission for retaining the prize?
A raffle ticket bought by an officer while attending a function in
his official capacity is not a gift, nor is the raffle prize which he
may win as a result of its purchase. Special permission for
retaining such raffle prizes is therefore not required. Nevertheless,
officers should be cautious and avoid taking part in lucky draws
the nature of which may compromise their integrity (e.g. where
dubious or expensive prizes are given to all participants who only
pay a small sum of money for the raffle tickets).
Can an officer accept a sponsored visit offered by a professional
body to attend a conference overseas because of his expertise in
the subject?
An officer may receive an invitation from a foreign government or
an outside organisation to make a sponsored visit in his private
capacity and this may include offer of free accommodation and/or
passage. If he wishes to accept the invitation, he must seek
permission to do so from his Head of Department or the Secretary
for the Civil Service, as appropriate, in accordance with the AAN.
He will be required to take his earned leave in order to attend.
During the private visit, he must not accept lavish entertainment
incommensurate with the occasion and the purpose of the visit.
He should also avoid undertaking activities which could be
construed as being related to his official duties.
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Other Issues Relating to Acceptance of Advantages
Q12
A12
Q13
A13
Q14
A14
Is a loan of an object e.g. a car, an advantage?
Under section 3 of the Prevention of Bribery Ordinance, a loan of
an object is not a "restricted advantage" and therefore general
permission has been given for it to be solicited or accepted. But
the position will be entirely different if it is reciprocated by an
abuse of office. It then constitutes a section 4 offence.
With reference to section 10 of the Prevention of Bribery
Ordinance, is it necessary for an officer to report to the ICAC a
substantial gain from winning in games of chance?
An officer, being an office-bearer of a staff association, wishes to
collect donations for the family of an officer who has been
imprisoned. Does he require any permission to do so?
No, but he may report it to his department to play safe.
An officer who solicits and accepts advantages (which include
gifts of cash or in kind, loan of money, discount and passage) in his
capacity as a member or office-bearer of his staff association or
club is required to apply for permission in accordance with the
AAN in a similar way as if he is soliciting or accepting the
advantages for his own benefit.
An officer has taken part in an open competition in the name of
his department. Does the prize belong to him or is special
permission under the AAN required for him to accept the prize?
If an officer has taken part in the competition in his private
capacity and received a prize, general permission has been given
under the AAN for him to accept it. On the other hand, if in taking
part in the competition he is representing the department, then the
acceptance of the prize and method of disposal would be a matter
for the departmental management to decide.
Can an officer solicit advertisements for publications such as
staff association journals and brochures for departmental sports
days, dinners, etc.?
Prior permission from the Secretary for the Civil Service or the
Head of Department (subject to compliance with conditions in the
relevant CSB Circulars) is required before an officer involves
himself in the production of any publication which contains paid
advertisements.
The applicant(s) must ensure that the methods of canvassing will
not bring the public service into disrepute.
It should be made clear to the advertisers that their purchase of
advertising space will not provide any advantage in their dealings
with the government.
Q15
A15
Q16
A16
Answers to Some Common Questions asked onMisconduct in Public Office
The term "misconduct in public office" is very broad. The
misconduct may appear in many different forms and may vary
greatly in terms of nature and severity. Under what
circumstances would an act of misconduct in public office lead to
criminal prosecution under the common law?
In a judgment handed down in July 2002, the Court of Final Appeal
(CFA) observed, amongst other things, that -
The CFA held that the broad terms in which the common law
offence is cast are sufficient to enable a public officer to regulate his
conduct. The elements of the offence, quite apart from its title or
description, alert a public officer to the risk that he runs by
engaging in misconduct. Those elements are -
a public official,
in the course of or in relation to the public office,
wilfully and intentionally,
culpably misconducts himself and the misconduct is serious.
(a)
(b)
(c)
(d)
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AAnnex II
Q1
A1
the common law offence of misconduct in public office serves
an important purpose in providing a criminal sanction against
misconduct by public officers; and
the common law offence is necessarily cast in general terms
because it is designed to cover many forms of misconduct on the
part of public officers.
(a)
(b)
Can the meaning of these elements be elaborated?
The constituent elements (b), (c) and (d) are further elucidated below.
This element emphasises the fact that this offence is not to be used to
punish public officers for what they do in their private lives. The
offence is committed because of what he does, or fails to do, as a
public officer.
"Intentionally" means voluntarily doing the acts amounting to
misconduct. "Wilfully" carries with it the additional meaning of
"knowledge of or advertence to the consequences".
Culpable misconduct may be committed by acts of omission, that is
neglecting or failing to do some act which the duties of one's public
office require one to do. It may also come about through acts of
commission, such as misusing the power conferred upon him by
virtue of his title or position.
Whether the misconduct is serious or not is to be determined by the
Court having regard to the responsibilities of the office and the
office-holder, the importance of the public objects which they serve,
and the nature and extent of the departure from those
responsibilities.
"In the course of or in relation to the public office
Wilfully and intentionally
"Culpably misconducts himself and the misconduct is serious
"
" "
"
Q2
A2